Compliance Associate
2 weeks ago
Primary Responsibilities:
- Responsible for the firm’s Code of Ethics administration through Ascendant Compliance Manager, including the establishment, dissemination and tracking of compliance certifications and the ad hoc review of potential violations
- Assist the CCO in the administration of firm’s compliance program, including management of the compliance calendar, oversight of record-keeping and maintenance of policies and procedures
- Manage and facilitate the production of records for various firm audits and examinations, including but not limited to regulatory examinations, SOC1 and GIPS verification
- Prepare due diligence responses from potential investors along with questionnaires from current investors
- Review daily trading reports to identify any potential trading issues to escalate to senior Compliance management, and as necessary, individuals across the company including Portfolio Management
- Assist the CCO with the annual review process, including testing of policies and procedures to ensure compliance with such policies and internal control.
Required Skills:
- Bachelor’s degree required
- 6-8 years of experience of compliance related experience at an SEC-registered investment adviser or other regulated financial institution
- Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
- Technical and professional skills or knowledge of testing methodology, risk and controls analysis
- Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time
- Experience with drafting, implementing and testing policies and procedures
- Excellent organizational, problem-solving, decision-making and time management skills
- Advanced proficiency with Microsoft Office Suite
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